Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Luis? Claim Your ProfileLuis F. Bautista is a financial advisor with over 25 years of experience in the industry. Luis has a broad range of experience, having worked with Prudential Securities Incorporated and Wells Fargo Advisors, LLC before joining LPL Financial LLC in 2009. Luis is a Registered Representative and Investment Advisor Representative, and holds the Series 7, Series 63, Series 65 and Series 24 licenses. Luis also has a Chartered Financial Consultant designation and specializes in financial planning, portfolio management for individuals and businesses, and pension consulting.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Consulting and other non-discretionary advisory services
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
CA
12/12/2021 - Present
LPL Financial LLC (WOODLAND CA)
CA
03/18/2002 - 10/16/2009
WELLS FARGO ADVISORS, LLC (SACRAMENTO CA)
NY
05/17/1996 - 03/19/2002
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
IA
Issued 05/03/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/26/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/07/2016
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/17/1996
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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